Trading

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  1. SEC announces pilot program to expand tick sizes for small-cap trades

    trueThe SEC on Tuesday announced a one-year pilot program to widen minimum tick sizes for small-cap stocks.

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  1. High-speed traders enlist former CFTC commissioner to improve image

    trueFormer U.S. Commodity Futures Trading Commission member Bart Chilton, an outspoken critic of some high-speed trading practices while at the agency, has been enlisted in a Washington-based effort to improve the image of an industry beset by regulatory and legislative scrutiny.

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  2. Asset owners mull tightening control on trade execution

    trueAsset owners are paying a lot more attention to where their money managers execute trades — decisions that have generally been left to the discretion of the managers — and some are considering directing their managers to avoid specific venues.

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  3. TradeWatch for August 18, 2014

     

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  4. Ex-CEO of ConvergEx Global Markets faces Justice, SEC charges

    trueAnthony G. Blumberg, former CEO of ConvergEx Global Markets, a now-shuttered broker-dealer subsidiary of ConvergEx Group, was charged by the Justice Department and the SEC with concealing fees to buy and sell securities.

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  5. Evercore acquires ISI, remaining 40% of its equities business

    trueEvercore Partners agreed to acquire International Strategy and Investment Group, a research and trading business.

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  6. Sanctions against Russia may lead to index changes

    trueIndex funds might have to divest Russian securities under new sanctions.

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  7. Citigroup alternative trading system settles with SEC

    trueCitigroup Global Markets' LavaFlow alternative trading system will pay $5 million — $2.85 million in penalties and the remainder in refunds to clients including money managers — to settle SEC charges that it did not protect subscribers' confidential information.

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  8. Barclays wants dark-pool lawsuit dismissed

    trueBarclays on Thursday filed a motion to dismiss a lawsuit that claims the bank misled clients about the extent of high-frequency trading in its Barclays LX dark pool, saying the complaint does not identify any fraud and has “substantial factual errors.”

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  9. CFTC commissioner appointed CEO at International Swaps and Derivatives Association

    trueScott O'Malia was named CEO of the International Swaps and Derivatives Association, the organization announced Wednesday.

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  10. Credit Suisse dumping fixed-income commodities trading

    trueCredit Suisse will exit the commodities trading business.

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  11. BATS Global Markets president out

    trueWilliam O’Brien, president of BATS Global Markets, has left the company.

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  12. Greenwich Associates: Goldman Sachs leads U.S. fixed-income dealers in market share

    trueGoldman Sachs holds the top spot among U.S. fixed-income dealers, according to a report from Greenwich Associates released Tuesday. Goldman had 12.1% of all market share based on institutional trading volume over the past 12 months, followed by Deutsche Bank (11.7%) and Citi (11.5%), according to ...

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  13. SEC investigating hedge funds in House committee insider-trading probe

    trueSome of the country’s largest hedge funds are being investigated by the SEC as part of an insider-trading probe.

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